NON NON- -PROFIT SUPPORT PROFIT SUPPORT NON NON - - PROFIT - - PowerPoint PPT Presentation

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• PROFIT SUPPORT

PROFIT SUPPORT PROFIT SUPPORT PROFIT SUPPORT FOR RESEARCH FOR RESEARCH FOR RESEARCH FOR RESEARCH

Daniel L. Goroff Alfred P. Sloan Foundation Vice President & Program Director Views expressed here are my own.

Plan

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1.

Sloan (what can be done?)

2.

Public Goods (why?)

3.

U.S. Context (where?)

4.

Philanthropy vs. Government (how?)

5.

Science Philanthropy Alliance (who?)

Daniel Goroff

The Alfred P. Sloan Foundation

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Not-for-profit grant-making institution based in New York City Employees: ~30 (including ~7 program officers) Endowment: ~ US$ 1.9 billion (all spending from earnings) Grants approved per year: ~ 330 Dollars dispersed per year: ~ $80 million (including expenses) Mission Statement: “The Alfred P. Sloan Foundation makes

grants primarily to support original research and broad-based education related to science, technology, economic performance and the quality of American life.”

Daniel Goroff

Alfred P. Sloan Jr.

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President of General Motors Founded the Foundation in 1934 Served as Foundation President

and Chairman until early 1960s

Believed science and a scientific

understanding of the world is the driver of innovation, which is the driver of economic prosperity

Also founded the Sloan School

• f Management at MIT as well as

Memorial Sloan Kettering Cancer Center in New York

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Major Program Areas

Basic Research:

Deep Carbon Observatory Microbiology of the Built

Environment

Economic Performance and

the Quality of Life

Economic Institutions, Behavior, and

Performance

Working Longer

STEM Higher Education

• The Science of Learning Stem
• Education and Professional

Advancement for Underrepresented Groups

Public Understanding of

Science, Technology, & Economics

• Radio, Film, Television, Books,

Theater, New Media

Digital Information

Technology:

• Data and Computational Research
• Scholarly Communication
• Universal Access to Knowledge

Sloan Research Fellowships Civic Initiatives

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Daniel Goroff

Sloan Philosophy

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Support basic research and education in science, technology,

and economics using investment income from the endowment.

Fund “policy-relevant research” that ends up in peer-reviewed

journals and report notes.

Sloan does not fund “policy research” or advocacy with pre-

determined answers.

Prefer to pose important questions and let the results fall where

they may.

“The Public Goods Business” (nonrival and nonexcludable

products)

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“Public Goods Business”

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Nonexcludable and nonrival commodities, like

lighthouses, parks, defense, or clean air.

Notoriously hard to finance due to free rider problem:

great benefits for society overall, but too unpredictable in time and space for the investor to appropriate.

Discoveries (before intellectual property restrictions) Open Datasets: For Researchers (measurements); About

Research (public resources); From Research (knowledge)

Displays

Daniel Goroff

Sloan Digital Sky Survey

Major astronomical initiative to

map an image the sky using a 2.5 meter telescope at Apache Point, NM

Led to discovery of distant

quasars, large populations of sub-stellar objects, systematic characterization of the galaxy

Advanced data collection,

management, and dissemination

www.sdss3.org

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Census of Marine Life

Ten-year international observation

program to asses and explain the diversity, distribution and abundance of marine life

14 field projects with scientists from over

80 countries participating

2,700 scientists 540 expeditions 2,600+ scientific publications 6,000+ potential new species

Creation of set of governing and

coordinating institutions

Creation of Ocean Biographical

Information System (OBIS) to organize and systematize data

www.coml.org 9

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Encyclopedia of Life

Goal: Create a website with

a page for every one of the 1.8m named species of plant and animals

Launched in 2008 with

30,000 species pages

Now has 1.4 million species

pages with links to over 14m pages of biodiversity literature

• www. eol.org

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DNA Barcoding

International effort to speed the building

• f a library of short DNA sequences for

identifying animals and plants reliably and cheaply

10 different project groups working on

plants, fish, birds, bees, other insects, etc.

Creation of common set of standards

and a governing institutional apparatus: the Consortium for the Barcode of Life

Creation of Barcode of Life Database

housing over 800,000 records.

The technology is now being adopted by

the FDA and regulatory agencies concerned with consumer and environmental protection.

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Deep Carbon Observatory

The primary mission of the

DCO is to promote the transformational understanding of the chemical and biological roles

• f carbon in Earth's interior

related to: reservoirs and fluxes, deep energy, and extreme physics and chemistry.

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Science Workforce

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The Scientific and Engineering Workforce Project, based at the National Bureau for Economic Research, networks researchers studying labor markets and immigration.

Economics of Science

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“How Economics Shapes Science” by Paula Stephan is an acclaimed book that benefited from Sloan support through SEWP.

Macro-Financial Modeling

Led by Andrew Lo and Lars Hansen, working groups of junior scholars, Nobel Laureates, and

• ther experts are

building better macro models to assess systemic risk.

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Sloan Research Fellows

Chemistry Computational & Evolutionary

Molecular Biology

Computer Science Economics Mathematics Neuroscience Ocean Sciences Physics

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The Sloan Research Fellowships supports fundamental research by

early-career scientists.

Since its inception in 1955, 42 Sloan Research Fellows have been

awarded the Nobel Prize in their respective fields and 16 have been awarded the Fields Medal by the International Mathematical Union

Two-year fellowships are awarded yearly to 126 researchers in the

following fields:

Data Science Initiative

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Three primary goals: Develop sustained collaborations between subject specific fields and methodological fields. Establish career paths for multidisciplinary researchers. Build analytical tools and research practices that are sustainable, reusable, and extensible.

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Center for Open Science

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The Mission: to increase openness, integrity, and reproducibility of scientific research. Infrastructure: The Open Science Framework Approach: Design workflow tools that make openness easy. Research: Reproducibility Project in Psychology

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Data Repositories

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Dataverse, a repository at Harvard’s Institute for Quantitative Social Science is working with journals to archive data for reuse. Interuniversity Consortium for Political and Social Research (ICPSR), a repository in Ann Arbor, is working with funders to establish grant agreement standards that help open science.

Presenter Name

Transparent Social Science

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The Berkeley Initiative for Transparencey in Social Science (BITSS) is developing useful strategies and tools for maintaining research transparency, including the use of study registries, pre-analysis plans, data sharing, and replication. Training for graduate students takes place at summer institutes.

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Citizen Science

Galaxy Zoo How do galaxies merge? One important area of research in

astronomy studies is the role of interacting galaxies.

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Real Science Online: The Zooniverse and the suite of projects it contains is produced, maintained, and developed by the Citizen Science Alliance. The CSA works with many partners around the world to produce projects that use volunteers to help scientists and researchers deal with the flood of data that confronts them.

Example from Zooniverse: Old Weather

Model Earth's climate using

wartime ship logs

Help scientists recover

worldwide weather

• bservations made by Royal

Navy ships around the time of World War I

Transcripts will contribute to

climate model projections and improve the database of weather extremes

Work will help to track past

ship movements and the stories of the people on board

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Media Sponsorship

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Digital Public Library of America

Sloan support began at the

• utset in October 2010

Launched in April 2013 Time called DPLA one of

the “50 best websites of 2013.”

Digitized over seven million

items serving as a link to cultural institutions around the country

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Daniel Goroff

Mathematical Heritage Library

• Sloan supported a National

Academies committee which prepared a peer-reviewed report on the scope, costs, benefits, risks, and potential strategies associated with creating a Mathematical Heritage Library - A fully computable, open online database of the historical mathematics literature

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Daniel Goroff

Wikipedia

Sloan is one of the original

and largest funders.

Encouraged the formulation

• f strategic, quality control,

and fundraising plans

Over 32M pages, 100,000

regular contributors, and 365m readers

Sometimes called the biggest

public good in history

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U.S. Context

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• Public goods need taxes or philanthropy
• U.S. is a big country that mistrusts government
• Tax laws favor private decision-making and risk-taking
• Outstanding venture capital and entrepreneurship
• Relatively robust and active philanthropic sector

U.S. R&D by Performing Sector

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Daniel Goroff

Government Funding

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Research and Development (R&D) Expenditures as a Percent of Gross Domestic Product in 2009:

U.S.:

2.79%

Japan:

3.44%

France:

2.11%

Germany: 2.68% UK:

1.77%

Daniel Goroff

U.S. Federal Funding of R&D

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Federal Agency 2010 Total Research and Development 149 Department of Defense 83 Health and Human Services (NIH) 31 Department of Energy 11 NASA 9 National Science Foundation 5 Other 10

Daniel Goroff

In 2010, total Federal Research and Development in the US was

• ver $149 billion, with Defense R&D making up $86 billion of

those dollars (58%). NSF made up only 3% of total R&D. $

U.S. Philanthropy

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Charitable donations in 2012 from foundations,

individuals, and corporations totaled about $316 billion.

Individual donations were 72%, or $229 billion. Foundations, with estimated assets totaling $690 billion,

had annual expenditures of approximately $46 billion, or 15% of the total. About $2 billion of this is for science.

But about 75% of foundation support for science goes to

medical and biological research (grateful patients).

Daniel Goroff

Philanthropy in the US: University Based Research

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U.S. philanthropy plays a large part in funding university- based scientific, engineering, and medical research.

Roughly $4 billion given annually to operations,

endowment, and buildings devoted to research.

Endowment income provides another $3 billion. About 30% of annual research funds at top universities.

Daniel Goroff

University Giving: UK

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British universities have tried to increase giving. British higher education accrued total donations of

£774 million in 2011-12 (approximately $1.3 billion)

Oxford and Cambridge raised 45% of these new funds. Fundraising efforts cost 36 pence per pound raised.

Daniel Goroff

US Top 10 and 50 Universities:

R&D Expenditure

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Average total R&D expenditure by groups of US universities

US Top 10 and 50 Universities:

R&D Funding Sources

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Top 10 Universities Top 10-50 Universities

US Government vs Philanthropy

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Institutional Complementarities

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Philanthropy Government Inspiration & Motivation Need Fear Identity & Purpose Founder Civil Service Decision Criteria Trustee Respect Factional Appeasement Success Metric Productivity Spending Cycle Time Weeks or Months Months or Years Planning Horizon Decades Annual Budget

Philanthropies

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Daniel Goroff

Qualitatively and quantitatively different from government:

• More nimble
• More risk-tolerant
• More patient
• More catalytic
• Much, much smaller scale

Solving a public goods problem requires institutions with leadership, vision, rewards, norms, boundaries, etc. (not necessarily lots of people or money to begin with).

Philanthropic Sector

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Daniel Goroff

• Private Foundation vs. Public Charity
• Foundation vs. Operating Foundation
• More prominent in U.S. due to tax codes
• IRS Form 990 reporting and regulation
• Role of State Attorneys General
• Restrictions on activities like lobbying by foundations
• Guidestar, Foundation Center, NCCS, etc.
• Council of Foundations, Independent Sector, etc.

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Daniel Goroff

• Alfred P. Sloan Foundation
• Howard Hughes Medical Institution
• Gordon and Betty Moore Foundation
• Simons Foundation
• Kavli Foundation
• Research Corporation

“Educating philanthropists about how and why to support research.”

U.S. Tradition

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Daniel Goroff

JP Morgan supported dinosaur hunts before Nathan Myhrvold. Rockefeller supported telescopes before George Mitchell. Scripps supported oceanography before Eric Schmidt. Carnegie supported public libraries before Wikepedia. Smithsonian Institution started with James Smithson’s funds.

Science Philanthropy

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Daniel Goroff

Opportunities:

• Crowdfunding
• Science Bonds
• Catalogues
• University Funds
• Donor Advised Funds

Concerns:

• Ethics
• Fraud
• Return on Investment?
• Gov Substitute?
• Private Control

For more information please see: www.sloan.org https://www.census.gov/compendia/statab/cats/scie nce_technology/expenditures_research_development .html http://www.nsf.gov/statistics “Evaluating the Role of Science Philanthropy in American Research Universities” by Fiona Murray, MIT (2012)

Thank you

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Daniel Goroff

Underrepresented Groups

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• Sloan Minority PhD Program
• Sloan Indigenous Graduate

Partnership

• Leadership Diversity Program
• Regional Olympiad Program
• Women in Mathematics and

Computer Science

Civic Mathematic Centers

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Data Science and Reproducibility

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Open Knowledge Foundation Center for Open Science, BITSS CODATA and Data Citation Standards Behavioral Economics, RCTs, Experiment Registries Differential Privacy, Fully Homomorphic Encryption Dataverse, ICPSR, Repository Sustainability Ebay, LinkedIn, StarMetrics, Redistricting, etc. Orgpedia, OpenCorporates Legal Entity Initiative (LEI) at the Financial Stability Board

Daniel Goroff

Public Understanding of Science

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Goal: To foster a better public understanding of the increasingly

scientific and technological world in which we live

Separate sub-programs by media: books, radio, television, film,

theater, etc.

Recently expanded to include advancing the public

understanding of economics, business, and finance

Deep roots: Earliest grant making was in educating the public

about economics

Daniel Goroff

Sloan Research Fellows in Math

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MATHEMATICS SELECTION COMMITTEE

• Dr. Tomasz S. Mrowka, Massachusetts Institute of Technology
• Dr. Karl Rubin, University of California, Irvine
• Dr. Margaret H. Wright, New York University

Sloan Research Fellows Awarded the Fields Medal John W. Milnor, Paul J. Cohen, Isadore M. Singer, Peter D. Lax, Raoul H. Bott, Michael H. Freedman, John McCarthy, Louis Nirenberg, Stephen Smale, Shing-Tung Yau, Felix E. Browder, Ronald R. Coifman, John G. Thompson, Karen K. Uhlenbeck, Elias M. Stein, Hyman Bass, Srinivasa Varadhan, Barry Mazur

Daniel Goroff

Data Science Initiative

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Partnership with New York University, the University of California,

Berkeley, and the University of Washington to harness the potential of data scientists and big data for basic research and scientific discovery

5-year, $37.8 million, cross-institutional effort in conjunction with

support from the Gordon and Betty Moore Foundation

Three primary goals: 1.

Develop sustained collaborations between subject specific fields and methodological fields

2.

Establish career paths for multidisciplinary researchers

3.

Build analytical tools and research practices that are sustainable, reusable, and extensible

Daniel Goroff

Digital Information Technology

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Goal: To increase access to knowledge and culture while

developing a better framework for understanding the information economy

Early grant making focused on supporting efforts to digitize

materials in the public domain, set quality standards, and develop platforms ensuring easy access to such materials.

Program expanding to include work on IP and the economics of

information goods

Daniel Goroff

NYU’s CUSP

Provided New York

University’s Center for Urban Science and Progress with a planning grant in 2013

CUSP uses data to better

understand how cities work

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MathOverflow

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Joined the Stack Exchange Network Development funding provided to: Facilitate links to the mathematical literature on MathOverflow Ensure the accessibility and endurance of the MathOverflow database Extend connections with other Math 2.0 projects Community development and outreach

Daniel Goroff